JSC "КАЗАХСКИЙ АГРОТЕХНИЧЕСКИЙ УНИВЕРСИТЕТ ИМ. С.СЕЙФУЛЛИНА"
Issuer
17.11.2015
150000803002280
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
991000
The nature of a breach:
1. Administrative sanction was applied in repeated violation by the Issuer established by the legislation of the Republic of Kazakhstan the conditions and procedures for the issuance and placement of equity securities.
Статья/пункты НПА, Статья КоАП:
1.
Статья: 261
- Of Administrative Violations Code of the Republic of Kazakhstan
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Investment portfolio managers combining activity with broker and (or) dealer
07.08.2015
25-5-04/1076
Limited enforcement action
Commitment letter
The nature of a breach:
1. For untimely granting statements by organization as of 01.07.2015
Date of performance:
25.08.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"NGDEM Finance", JSC
Investment portfolio managers combining activity with broker and (or) dealer
15.05.2018
№33-7-05/2740
Limited enforcement action
Written prescription
The nature of a breach:
1. Regarding the remedial actions that is required to be taken in order to eliminate violations detected during the inspection together with the causes and conditions facilitating its commitment with provision of the relevant plan of actions
Date of performance:
06.06.2018
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
«Tengri Partners Investment Banking (Kazakhstan)», JSC
Investment portfolio managers combining activity with broker and (or) dealer
25.09.2018
33-8-05/5704
Limited enforcement action
Written prescription
The nature of a breach:
1. Late submission of information on transactions with derivative financial instruments in the Central Depository
Date of performance:
05.10.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 62
- Of Resolution No. 9 and in accordance with the requirements of Regulation No. 254 and the internal documents of the Сentral depository
Note:
performed
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Investment portfolio managers combining activity with broker and (or) dealer
29.11.2018
33-7-05/7689
Limited enforcement action
Written prescription
The nature of a breach:
1. Submission of unreliable and (or) incomplete report to an authorized body
Статья/пункты НПА, Статья КоАП:
1.
Статья: 52
Пункт: 1
- Law of the Republic of Kazakhstan "On Securities Market"
Note:
Executed by letter of 04.12.2018. №041218/1
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
«Investment Financial House» RESMI», JSC
Brocker-Dealers
28.02.2018
№33-8-05/1289
Limited enforcement action
Written prescription
The nature of a breach:
1. wrong discounted cash flow (DCF) calculation while estimating the value of securities
Date of performance:
07.03.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 2
Пункт: 4
- The Law of the Republic of Kazakhstan "On Accounting and Financial Reporting"
Note:
implemented
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Brocker-Dealers
22.05.2018
№180000803000962
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
721 500 тенге
The nature of a breach:
1. Administrative sanction was applied due to repeated non-compliance (two or more times within consecutive calendar months) by the professional participant of the securities market, with the requirements provided for by legislation
Статья/пункты НПА, Статья КоАП:
1.
Статья: 262
- Of Administrative Violations Code of the Republic of Kazakhstan
Note:
Implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
22.10.2009
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
388800
The nature of a breach:
1. repeated violation of minimum reserve requirements
Статья/пункты НПА, Статья КоАП:
1.
- Approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 27, 2006 No. 38 Rules on Minimum Reserve Requirements
2. Статья: 168-2 Пункт: 4-1 - The Code of Administrative Offenses
2. Статья: 168-2 Пункт: 4-1 - The Code of Administrative Offenses
Note:
repeated violation of minimum reserve requirements
Type of Enactments
1. Cconcerning accomplishment of minimum reserve requirements' standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
03.12.2015
150000803002309
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
198200
The nature of a breach:
1. Non-performance by subjects of securities market of an obligation for disclosure of information in an order and on the conditions determined by the legislation of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 263
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
17.03.2016
33-4-01/1256
Limited enforcement action
Written prescription
The nature of a breach:
1. Infringement of requirements of article 79, paragraph-1 of the Law of Republic Kazakhstan «About joint-stock companies
Date of performance:
26.04.2016
Статья/пункты НПА, Статья КоАП:
1.
Статья: 79
Пункт: 1
- Of the Law «On joint stock companies»
Note:
performed by №24581 / 18.04.2016
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
